Securities Compliance

The firm assists clients with a variety of securities issues, including the disclosure and reporting requirements of the Securities and Exchange Commission and compliance with SEC rules in connection with securities offerings, mergers and acquisitions.  The firm’s securities experience includes:

  • Initial and secondary public offerings
  • Regulatory compliance
  • Private offerings and private placement memoranda
  • Compliance with state “blue sky” laws
  • Mergers and acquisitions
  • Shareholder rights plans
  • Executive compensation and benefits
  • Equity compensation plans
  • Benefit plan securities registration
  • Corporate governance
  • Securities trading by directors and officers
  • Stock repurchase plans
  • Resale of restricted securities
  • Compliance with the Sarbanes-Oxley Act of 2002

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